State of Maryland



EXHIBIT D – MINORITY BUSINESS ENTERPRISE PARTICIPATION

State of Maryland

Department of EDUCATION

Minority Business Enterprise Participation

Purpose

Contractor shall structure its procedures for the performance of the work required in this contract to attempt to achieve the minority business enterprise (MBE) goal stated in the Request for Proposals. MBE performance must be in accordance with this Exhibit, as authorized by Code of Maryland Regulations (COMAR) 21.11.03. Contractor agrees to exercise all good faith efforts to carry out the requirements set forth in this Exhibit.

MBE Goals and Subgoals

❑ An MBE subcontract participation goal of 0 percent of the total contract dollar amount has been established for this procurement. By submitting a response to this solicitation, the bidder or Offeror agrees that this dollar amount of the contract will be performed by certified minority business enterprises

OR

❑ An overall MBE subcontract participation goal of ___ percent of the total contract dollar amount has been established for this procurement. This dollar amount includes:

❑ A sub-goal of ____ percent of the total contract dollar amount to be allocated to certified minority business enterprises classified as women-owned businesses.

❑ A sub-goal of ___ percent of the total contract dollar amount to be allocated to certified minority business enterprises classified as African American-owned businesses.

By submitting a response to this solicitation, the bidder or offeror Offeror agrees that these dollar amounts of the contract will be performed by certified minority business enterprises as specified.

□ A prime contractor — including an MBE prime contractor — must accomplish an amount of work not less than the MBE subcontract goal with certified MBE subcontractors.

□ A prime contractor comprising a joint venture that includes MBE partner(s) must accomplish the MBE subcontract goal with certified MBE subcontractors.

Solicitation and Contract Formation

A bidder or offerorOfferor must include with its bid or offer:

1) A completed Certified MBE Utilization and Fair Solicitation Affidavit (Exhibit D-1) whereby the bidder or offerorOfferor acknowledges the certified MBE participation goal or requests a waiver, commits to make a good faith effort to achieve the goal, and affirms that MBE subcontractors were treated fairly in the solicitation process.

2) A completed MBE Participation Schedule (Exhibit D-2) whereby the bidder or offerorOfferor responds to the expected degree of Minority Business Enterprise participation as stated in the solicitation, by identifying the specific commitment of certified Minority Business Enterprises at the time of submission. The bidder or offerorOfferor shall specify the percentage of contract value associated with each MBE subcontractor identified on the MBE Participation Schedule.

If a bidder or offerorOfferor fails to submit Exhibit D-1 and Exhibit D-2 at the time of submittal of the bid or offer, the Procurement Officer shall deem the bid non-responsive or shall determine that the offer is not reasonably susceptible of being selected for award.

Within 10 working days from notification that it is the apparent awardee or from the date of the actual award, whichever is earlier, the apparent awardee must provide the following documentation to the Procurement Officer.

1) Outreach Efforts Compliance Statement (Exhibit D-3)

2) Subcontractor Project Participation Statement (Exhibit D-4)

3) If the apparent awardee has requested a waiver (in whole or in part) of the overall MBE goal or of any sub-goal as part of the previously submitted Exhibit D-1, it must submit documentation supporting the waiver request that complies with COMAR 21.11.03.11.

4) Any other documentation required by the Procurement Officer to ascertain bidder or offerorOfferor responsibility in connection with the certified MBE participation goal.

If the apparent awardee fails to return each completed document within the required time, the Procurement Officer may determine that the apparent awardee is not responsible and therefore not eligible for contract award. If the contract has already been awarded, the award is voidable.

Contract Administration Requirements

Contractor shall:

1. Submit monthly to the Department a separate report (Exhibit D-5) for each subcontractor that lists: a) all payments made to the MBE subcontractor during the previous 30 days, and, b) any unpaid invoices over 30 days old received from any certified MBE subcontractor, the amount of each invoice and the reason payment has not been made.

2. Include in its agreements with its certified MBE subcontractors a requirement that those subcontractors submit monthly to the Department a report (Exhibit D-6) that identifies the prime contract and lists: a) all payments received from the prime Contractor during the previous 30 days, and, b) any outstanding invoices, and the amount of those invoices.

1. Maintain such records as are necessary to confirm compliance with its MBE participation obligations. These records must indicate the identity of certified minority and non-minority subcontractors employed on the contract, the type of work performed by each, and the actual dollar value of work performed. Subcontract agreements documenting the work performed by all MBE participants must be retained by the Contractor and furnished to the Procurement Officer on request.

2. Consent to provide such documentation as reasonably requested and to provide right-of-entry at reasonable times for purposes of the State’s representatives verifying compliance with the MBE participation obligations. Contractor must retain all records concerning MBE participation and make them available for State inspection for three years after final completion of the contract.

3. At the option of the procurement agency, upon completion of the contract and before final payment and/or release of retainage, submit a final report in affidavit form and under penalty of perjury, of all payments made to, or withheld from MBE subcontractors.

Exhibits

D-1 Certified MBE Utilization and Fair Solicitation Affidavit (must be submitted with bid or offer)

D-2 MBE Participation Schedule (must be submitted with bid or offer)

D-3 Outreach Efforts Compliance Statement (must be submitted within 10 working days of notification of apparent award or actual award, whichever is earlier)

D-4 Subcontractor Project Participation Statement (must be submitted within 10 working days of notification of apparent award or actual award, whichever is earlier)

D-5 Prime Contractor Paid/Unpaid MBE Invoice Report (must be submitted monthly by the Prime Contractor)

D-6 Subcontractor Paid/Unpaid MBE Invoice Report (must be submitted monthly by the MBE subcontractor)

Exhibit D-1

Certified MBE Utilization and Fair Solicitation

Affidavit

This document shall be included with the submittal of the bid or offer. If the bidder or offerorOfferor fails to submit this form with the bid or offer, the procurement officer shall deem the bid non-responsive or shall determine that the offer is not reasonably susceptible of being selected for award.

In conjunction with the bid or offer submitted in response to Solicitation No. R00R, I affirm the following:

1. I acknowledge the overall certified Minority Business Enterprise (MBE) participation goal of 25 percent. I have made a good faith effort to achieve this goal.

OR

After having made a good faith effort to achieve the MBE participation goal, I conclude I am unable to achieve it. Instead, I intend to achieve an MBE goal of _______% and request a waiver of the remainder of the goal. If I submit the apparent low bid or am selected as the apparent awardee (competitive sealed proposals), I will submit written waiver documentation that complies with COMAR 21.11.03.11 within 10 business days of receiving notification that our firm is the apparent low bidder or the apparent awardee.

2. I have identified the specific commitment of certified Minority Business Enterprises by completing and submitting an MBE Participation Schedule (Exhibit D-2) with the bid or proposal.

3. I acknowledge that the MBE subcontractors/suppliers listed in the MBE Participation Schedule will be used to accomplish the percentage of MBE participation that I intend to achieve.

4. I understand that if I am notified that I am the apparent awardee, I must submit the following documentation within 10 working days of receiving notice of the potential award or from the date of conditional award (per COMAR 21.11.03.10), whichever is earlier.

(a) Outreach Efforts Compliance Statement (Exhibit D-3)

(b) Subcontractor Project Participation Statement (Exhibit D-4)

(c) MBE Waiver Documentation per COMAR 21.11.03.11 (if applicable)

(d) Any other documentation required by the Procurement Officer to ascertain bidder or offerorOfferor responsibility in connection with the certified MBE participation goal.

If I am the apparent awardee, I acknowledge that if I fail to return each completed document within the required time, the Procurement Officer may determine that I am not responsible and therefore not eligible for contract award. If the contract has already been awarded, the award is voidable.

5. In the solicitation of subcontract quotations or offers, MBE subcontractors were provided not less than the same information and amount of time to respond as were non-MBE subcontractors.

I solemnly affirm under the penalties of perjury that the contents of this paper are true to the best of my knowledge, information, and belief.

_________________________________ _________________________________________

Bidder/Offeror Name Signature of Affiant

________________________________ __________________________________________

Address Printed Name, Title

________________________________

__________________________________________

Date

Exhibit D-2

MBE Participation Schedule

(for submission with bid or proposal)

This document shall be included with the submittal of the bid or offer. If the bidder or offerorOfferor fails to submit this form with the bid or offer, the procurement officer shall deem the bid non-responsive or shall determine that the offer is not reasonably susceptible of being selected for award.

|Prime Contractor (Firm Name, Address, Phone) |Project Description |

|Project Number |

| List Information For Each Certified MBE Subcontractor On This Project |

|Minority Firm Name MBE Certification Number |

|Work To Be Performed/SIC |

|Percentage of Total Contract |

|Minority Firm Name MBE Certification Number |

|Work To Be Performed/SIC |

|Percentage of Total Contract |

|Minority Firm Name MBE Certification Number |

|Work To Be Performed/SIC |

|Percentage of Total Contract |

USE EXHIBIT D-2 CONTINUATION PAGE AS NEEDED

SUMMARY

TOTAL MBE PARTICIPATION: %

TOTAL WOMAN-OWNED MBE PARTICIPATION: %

TOTAL AFRICAN AMERICAN-OWNED MBE PARTICIPATION: %

Exhibit D-2

MBE Participation Schedule (continued)

|List Information For Each Certified MBE Subcontractor On This Project |

|Minority Firm Name MBE Certification Number |

|Work To Be Performed/SIC |

|Percentage of Total Contract |

|Minority Firm Name MBE Certification Number |

|Work To Be Performed/SIC |

|Percentage of Total Contract |

|Minority Firm Name MBE Certification Number |

|Work To Be Performed/SIC |

|Percentage of Total Contract |

|Minority Firm Name MBE Certification Number |

|Work To Be Performed/SIC |

|Percentage of Total Contract |

|Minority Firm Name MBE Certification Number |

|Work To Be Performed/SIC |

|Percentage of Total Contract |

|Minority Firm Name MBE Certification Number |

|Work To Be Performed/SIC |

|Percentage of Total Contract |

|Minority Firm Name MBE Certification Number |

|Work To Be Performed/SIC |

|Percentage of Total Contract |

Exhibit D-3

Outreach Efforts Compliance

Statement

In conjunction with the bid or offer submitted in response to Solicitation No. R00R, I state the following:

1. Bidder/ Offeror identified opportunities to subcontract in these specific work categories:

1. Attached to this form are copies of written solicitations (with bidding instructions) used to solicit certified MBEs for these subcontract opportunities.

2. Bidder/Offeror made the following attempts to contact personally the solicited MBEs:

3. ( Bidder/Offeror assisted MBEs to fulfill or to seek waiver of bonding requirements. (Describe efforts)

( This project does not involve bonding requirements.

4. ( Bidder/Offeror did/did not attend the pre-bid/proposal conference

( No pre-bid/proposal conference was held.

__________________________________ By: ___________________________________

Bidder/Offeror Name Name

__________________________________ ___________________________________

Address Title

___________________________________

Date

Exhibit D-4

Subcontractor Project Participation

Statement

Submit one form for each Certified MBE listed in the MBE Participation Schedule

Provided that ________________________ is awarded the State contract in conjunction with Solicitation

Prime Contractor Name

No.R00R, it and _________________________, MDOT Certification No._________, Subcontractor Name

intend to enter into a contract by which subcontractor shall:

(describe work)______________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

( No bonds are required of Subcontractor

( The following amount and type of bonds are required of Subcontractor:

By: By:

_____________________________ _________________________________________

Prime Contractor Signature Subcontractor Signature

_____________________________ _________________________________________

Name Name

_____________________________ _________________________________________

Title Title

_____________________________ __________________________________________

Date Date

PRIME CONTRACTOR MBE REPORTING INSTRUCTIONS

RFP#:____________________

BPO#:___________________

These instructions are meant to accompany the customized reporting forms sent to you by the Procurement Officer for the contract referenced above. If, after reading these instructions, you have additional questions or need further clarification, please contact the Department's MBE Liaison at adelman@msde.state.md.us or at 410-767-0956.

1. As the prime contractor, you have entered into a contractual agreement with the State of Maryland. As such, your company/firm is responsible for successful completion of all deliverables under the contract, including your commitment to meet the MBE participation requirements established for this contract. Part of that requirement, as outlined in the contract, includes submission of monthly MBE payment reports to the State. Reporting forms D-5 (Prime Contractor Paid/Unpaid MBE Invoice Report) and D-6 (Subcontractor Paid/Unpaid MBE Invoice Report) are attached for your use and convenience.

2. The prime contractor must complete a separate form D-5 for each MBE subcontractor (each subcontractor reference herein means MBE subcontractor) for each month of the contract and submit one copy to the location(s) indicated at the bottom of the form. The report is due not later than the 15th of the month following the month that is being reported. For example, the report for January’s activity is due not later than the 15th of February. It is preferred that the signed report be submitted in PDF or Word format with an electronic signature, however, reports sent via postal delivery are acceptable. Note: Reports are required to be submitted each month, regardless of whether there was any MBE payment activity for the reporting month. For Statewide master contracts where contractors must compete for individual Task Order awards, only those prime contractors who have been awarded a Task Order Contract (TOC) and have received a Purchase Order from the State are required to submit monthly reports along with their subcontractors.

3. The prime contractor is responsible for ensuring that each subcontractor receives a copy (e-copy and/or hard copy) of form D-6. The prime contractor should make sure that the subcontractor receives all the information necessary to complete the D-6 form properly, i.e., all of the information located in the upper right corner of the D-5 form. It may be wise to enter the information on form D-6 for the subcontractor’s convenience. This will help to minimize any confusion for those who receive and review the reports and will ensure that your company/firm receives proper credit for all MBE payments.

4. It is the responsibility of the prime contractor to make sure that all subcontractors submit reports not later than the 15th of each month regardless of whether there was any MBE payment activity for the reporting month. Actual payment data is verified and entered into the State’s financial management tracking system from the subcontractor’s monthly D-6 report only. Therefore, if the subcontractor(s) do not submit their D-6 payment reports, the prime contractor cannot and will not be given credit for subcontractor payments, regardless of the prime contractor’s proper submission of the D-5 reports. The Department’s MBE Liaison will contact the prime contractor if reports are not received each month from either the prime contractor or any of the identified subcontractors. Any changes to the prime contractor's MBE plan (MBE Participation schedule) after contract commencement must be requested in writing to the Procurement Officer and may not be implemented until approval has been received. Failure to comply with the MBE contract provisions and reporting requirements may result in sanctions, as provided by COMAR 21.11.03.13.

EXHIBIT D-5 (Sample)

Minority Business Enterprise Participation

Prime Contractor Unpaid MBE Invoice Report

| | |

|Report #: ________ |Task Order #: ______________________________ |

| |Contracting Unit: __________________________ |

|Reporting Period (Month/Year): _____________ |Contract Amount: ___________________________ |

| |MBE Subcontract Amt: _______________________ |

|Report is due by the 15th of the following month. |Project Begin Date: _________________________ |

| |Project End Date: ___________________________ |

| |Services Provided: ___________________________ |

| | |

|Prime Contractor: |Contact Person: |

| |

|Address: |

| | | |

|City: |State: |ZIP: |

| | |

|Phone: |FAX: |

| | |

|Subcontractor Name: |Contact Person: |

| | |

|Phone: |FAX: |

| |

|Subcontractor Services Provided: |

|List all unpaid invoices over 30 days old received from the MBE subcontractor named above: |

| |

|1. |

| |

|2. |

| |

|3. |

| |

|Total Dollars Unpaid: $____________________________ |

**If more than one MBE subcontractor is used for this contract, please use separate forms.

Return one copy (hard or electronic) of this form to the following address (electronic copy is preferred):

|Contact Person: Alan Delman |

|Dept.: Department of Education |

|Address: 200 West Baltimore Street, Rm. 218 |

|Baltimore, MD 21201 |

| |

|Email: adelman@msde.state.md.us ________________________ |

Signature:________________________________________________ Date:_____________________

EXHIBIT D-6 (Sample)

Minority Business Enterprise Participation

Subcontractor Paid/Unpaid MBE Invoice Report

| | |

|Report#: ________________ |Task Order #: ________________________________ |

| |Contracting Unit: ___________________________ |

|Reporting Period (Month/Year): ________________ |Contract/PO Amount: ________________________ |

| |MBE Subcontract Amount:_____________________ |

|Report is due by the 15th of the following month. |Project Begin Date: ___________________________ |

| |Project End Date: _____________________________ |

| |Services Provided: _____________________________ |

| |

|MBE Subcontractor Name: |

| |

|MDOT Certification #: |

| |

|Contact Person: |

| |

|Address: |

| | | |

|City: |State: |ZIP: |

| | |

|Phone: |FAX: |

| |

|Subcontractor Services Provided: |

| | |

|List all payments received from Prime Contractor during reporting period |List dates and amounts of any unpaid invoices over 30 days old. |

|indicated above. | |

| |1. |

|1. | |

| |2. |

|2. | |

| |3. |

|3. | |

| |Total Dollars Unpaid: $_________________________ |

|Total Dollars Paid: $_________________________ | |

| |

|Prime Contractor: Contact Person: |

Return one copy (hard or electronic) of this form to the following address (electronic copy is preferred):

|Contact Person: Alan Delman |

|Dept.: Department of Education |

|Address: 200 West Baltimore Street, Rm. 21201 |

|Baltimore, MS 21201 |

| |

|Email: adelman@msde.state.md.us ________________________ |

Signature:________________________________________________ Date:_____________________

-----------------------

Document Prepared By: (please print or type)

Name:______________________________ Title:___________________________

Submit This Affidavit with Bid/Proposal

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